Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular

OMB 3235-0232

OMB 3235-0232

Regulation E is a series of rules that provides specific exemptions from the registration provisions of the Securities Act for SBICs and investment companies that elect to be treated as business development companies ("BDCs"). Companies wishing to obtain the exemption must notify the Commission of their interest in claiming the exemption by filing a notification on Form 1-E.

The latest form for Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular expires 2022-02-28 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0232: Form 1-E filings .

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2018-10-05
Approved without change
Extension without change of a currently approved collection 2015-09-08
Approved without change
Extension without change of a currently approved collection 2012-07-23
Approved without change
Extension without change of a currently approved collection 2009-10-30
Approved without change
Extension without change of a currently approved collection 2007-02-23
Approved without change
Extension without change of a currently approved collection 2004-05-04
Approved without change
Extension without change of a currently approved collection 2001-04-25
Approved without change
Extension without change of a currently approved collection 1998-04-08
Approved without change
Extension without change of a currently approved collection 1995-04-17
Approved without change
Revision of a currently approved collection 1992-04-13
Approved without change
Extension without change of a currently approved collection 1990-05-18
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-04-11
Approved without change
Revision of a currently approved collection 1987-05-08
Approved without change
Revision of a currently approved collection 1984-04-30
Approved without change
New collection (Request for a new OMB Control Number) 1981-11-03

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